13D Filing: Pioneer Step Holdings Ltd and Chromadex Corp (CDXC)

Page 2 of 9 – SEC Filing


CUSIP No. 171077407 SC 13D/A Page
2
of 8
  1. 

Names of
Reporting Persons.

I.R.S. Identification Nos. of above persons (entities only)

PIONEER STEP HOLDINGS LIMITED

  2.

Check the Appropriate Box if a Member
of a Group (See Instructions)

(a)  ☐        (b)  ☒

  3.

SEC Use Only

  4.

Source of Funds (See Instructions)

WC

  5.

Check if Disclosure of Legal
Proceedings Is Required Pursuant to Items 2(d) or 2(e)  ☐

  6.

Citizenship or Place of
Organization

British Virgin Islands

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

  7. 

Sole Voting Power

3,059,988

  8.

Shared Voting Power

  9.

Sole Dispositive Power

3,059,988

10.

Shared Dispositive Power

11.

Aggregate Amount Beneficially Owned by Each Reporting Person

3,059,988

12.

Check if the Aggregate Amount in Row
(11) Excludes Certain Shares (See Instructions)  ☐

13.

Percent of Class Represented by Amount
in Row (11)

6.6% (1)(2)

14.

Type of Reporting Person (See
Instructions)

CO

(1) Calculated based upon 46,093,894 outstanding shares of the common stock of the Issuer, which represents 39,790,080 shares reported by the Issuer to be issued and outstanding as of May 10, 2017, as set forth in the
Issuers quarterly report on Form 10-Q, for the quarter ended April 1, 2017, as filed with the Securities and Exchange Commission on May 11, 2017, plus 2,521,526 shares and 3,782,288 shares (collectively, the Second Closing
Shares
) issued to Pioneer Step Holdings Limited and Champion River Ventures Limited, respectively, pursuant to the Purchase Agreement, as amended by the First Amendment, described in Item 4 of this Schedule 13D.
(2) As more fully described in Item 4 of this Schedule 13D, by virtue of being a party to the Purchase Agreement, until the closing of the Third Tranche each of Pioneer Step Holdings Limited and Champion River Ventures
Limited may be deemed to be members of a group, as defined in Rule 13d-5 of the Securities Exchange Act of 1934, as amended (the Exchange Act). The number of shares and percentage reported above does not include
shares held directly by Champion River Ventures Limited and its affiliates.
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